organization · Reporting owner

Lilly Ventures Fund I LLC

Disclosed activity across 6 companies

Tapewire entity: 12397
SEC CIK: 0001575852

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Dare Bioscience, Inc.CERU · Entity 7799	10% owner	April 15, 2014	April 16, 2014
Receptos, Inc.RCPT · Entity 12658	10% owner	May 08, 2013	November 21, 2013
Spyre Therapeutics, Inc.AGLE · Entity 2649	10% owner	April 12, 2016	April 14, 2016
Surface Oncology, Inc.SURF · Entity 109857	10% owner	April 23, 2018	April 23, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Dare Bioscience, Inc.

Report date April 15, 2014 · Filed April 16, 2014

Jointly reported with ELI LILLY & Co

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,356,227	Last balance in matching sequence After 2014-04-15 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 5 source rows Row 1 · 2014-04-15 · Conversion · Acquired 931,485 · Balance 931,485 F1: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 2 · 2014-04-15 · Conversion · Acquired 299,213 · Balance 1,230,698 F1: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 3 · 2014-04-15 · Conversion · Acquired 192,209 · Balance 1,422,907 F3: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 4 · 2014-04-15 · Conversion · Acquired 199,875 · Balance 1,622,782 F4: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 5 · 2014-04-15 · Purchase · Acquired 733,445 · Balance 2,356,227 F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2014-04-15 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2014-04-15 · Conversion · Disposed 13,513,513 · Balance 0 F1: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2014-04-15 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2014-04-15 · Conversion · Disposed 4,340,831 · Balance 0 F1: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
7% Convertible Promissory NotesSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	IndirectSee footnote	0	Reported balance After 2014-04-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2014-04-15 · Conversion · Disposed Not disclosed · Balance 0 F3: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
7% Convertible Promissory NotesSEC Table II · derivative / convertible security · Conversion / exercise price $5.43	IndirectSee footnote	0	Reported balance After 2014-04-15 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2014-04-15 · Conversion · Disposed Not disclosed · Balance 0 F4: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date.

F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

F3: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing.

F4: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing.

Receptos, Inc.

Report date May 08, 2013 · Filed November 21, 2013 · Amendment

Jointly reported with ELI LILLY & Co, Torres S. Edward

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby Group	2,081,210	Reported balance Holding disclosure · report date 2013-05-08 · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · Balance 2,081,210 F1: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner.
Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.25	Indirectby Group	Not disclosed	Reported balance Holding disclosure · report date 2013-05-08 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance Not disclosed F2: The Series A Preferred Stock and the Series B Preferred Stock have no expiration date and are convertible at any time at the option of the holder and will convert upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of Common Stock for every 7.5 shares of Series A Preferred Stock and Series B Preferred Stock, for no additonal consideration. F1: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner.
Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.73	Indirectby Group	Not disclosed	Reported balance Holding disclosure · report date 2013-05-08 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance Not disclosed F2: The Series A Preferred Stock and the Series B Preferred Stock have no expiration date and are convertible at any time at the option of the holder and will convert upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of Common Stock for every 7.5 shares of Series A Preferred Stock and Series B Preferred Stock, for no additonal consideration. F1: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner.

F2: The Series A Preferred Stock and the Series B Preferred Stock have no expiration date and are convertible at any time at the option of the holder and will convert upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of Common Stock for every 7.5 shares of Series A Preferred Stock and Series B Preferred Stock, for no additonal consideration.

Spyre Therapeutics, Inc.

Report date April 12, 2016 · Filed April 14, 2016 · Amendment

Jointly reported with ELI LILLY & Co, Shanafelt Armen

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby fund	2,068,543	Reported balance After 2016-04-12 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2016-04-12 · Conversion · Acquired 2,010,924 · Balance 2,068,543 F1: In connection with the consummation of the Issuer's initial public offering on April 12, 2016, each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). LV Management Group LLC (the "Management Company") has sole voting and dispositive authority with respect to the shares. Dr. Shanafelt disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. F3: This line item is being re-reported in order to gain access to the filing system. This Form is being amended to include Reporting Owners, Lilly Ventures Fund I LLC, and Dr. Shanafelt Armen as beneficial owners of the shares reported in the Form 4, previously filed by Eli Lilly and Company on April 14, 2016.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the consummation of the Issuer's initial public offering on April 12, 2016, each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). LV Management Group LLC (the "Management Company") has sole voting and dispositive authority with respect to the shares. Dr. Shanafelt disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein.

F3: This line item is being re-reported in order to gain access to the filing system. This Form is being amended to include Reporting Owners, Lilly Ventures Fund I LLC, and Dr. Shanafelt Armen as beneficial owners of the shares reported in the Form 4, previously filed by Eli Lilly and Company on April 14, 2016.

Surface Oncology, Inc.

Report date April 23, 2018 · Filed April 23, 2018

Jointly reported with LV Management Group, LLC, Torres S. Edward, Hall Steven Edward

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Fund	3,447,817	Last balance in matching sequence After 2018-04-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2018-04-23 · Conversion · Acquired 3,181,817 · Balance 3,181,817 F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Row 2 · 2018-04-23 · Purchase · Acquired 266,000 · Balance 3,447,817 F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectBy Fund	0	Reported balance After 2018-04-23 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-04-23 · Conversion · Disposed 7,000,000 · Balance 0 F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Coherus Oncology, Inc.

Report date November 12, 2014 · Filed November 12, 2014

Jointly reported with ELI LILLY & Co

Section 16 reporting ended · disclosed 2014-11-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.0001 par valueSEC Table I · non-derivative	Direct	3,042,019	Last balance in matching sequence After 2014-11-12 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2014-11-12 · Conversion · Acquired 2,333,955 · Balance 2,333,955 F1: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 2 · 2014-11-12 · Conversion · Acquired 543,101 · Balance 2,877,056 F1: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Row 3 · 2014-11-12 · Purchase · Acquired 164,963 · Balance 3,042,019 F3: Lilly Ventures Fund I LLC purchased an additional 164,963 shares of Issuer's Common Stock in connection with the IPO at the offering price of $13.50 per share. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy Group	0	Reported balance After 2014-11-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2014-11-12 · Conversion · Disposed 2,333,955 · Balance 0 F1: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F4: The Series B Preferred Stock and Series C Preferred Stock have no expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectBy Group	0	Reported balance After 2014-11-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2014-11-12 · Conversion · Disposed 543,101 · Balance 0 F1: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F4: The Series B Preferred Stock and Series C Preferred Stock have no expiration date. F2: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F3: Lilly Ventures Fund I LLC purchased an additional 164,963 shares of Issuer's Common Stock in connection with the IPO at the offering price of $13.50 per share.

F4: The Series B Preferred Stock and Series C Preferred Stock have no expiration date.

Rein Therapeutics, Inc.

Report date July 05, 2017 · Filed July 07, 2017

Jointly reported with LV Management Group, LLC, Torres S. Edward, Hall Steven Edward

Section 16 reporting ended · disclosed 2017-07-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Fund	1,094,987	Last balance in matching sequence After 2017-07-05 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-07-05 · Conversion · Acquired 844,987 · Balance 844,987 F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Row 2 · 2017-07-05 · Purchase · Acquired 250,000 · Balance 1,094,987 F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectBy Fund	0	Reported balance After 2017-07-05 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-07-05 · Conversion · Disposed 3,390,885 · Balance 0 F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Series E-2 Preferred StockSEC Table II · derivative / convertible security	IndirectBy Fund	0	Reported balance After 2017-07-05 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-07-05 · Conversion · Disposed 1,907,373 · Balance 0 F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Series E-3 Preferred StockSEC Table II · derivative / convertible security	IndirectBy Fund	0	Reported balance After 2017-07-05 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-07-05 · Conversion · Disposed 1,654,411 · Balance 0 F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Series F Preferred StockSEC Table II · derivative / convertible security	IndirectBy Fund	0	Reported balance After 2017-07-05 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-07-05 · Conversion · Disposed 1,443,972 · Balance 0 F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
April 23, 2018 Filed Apr 23, 2018 16:16 UTC	Surface Oncology, Inc. SURF · Entity 109857	ConversionSeries A Preferred Stock · Derivative	7,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-025824 · doc4.xml · derivative · entry 3 LV Management Group, LLC · CIK 0001681884 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Hall Steven Edward · CIK 0001602732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 0 Underlying: Common Stock · 3,181,817 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F1 · price: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
April 23, 2018 Filed Apr 23, 2018 16:16 UTC	Surface Oncology, Inc. SURF · Entity 109857	PurchaseCommon Stock	266,000	$15.00	$3,990,000.00	Disclosure SEC source: 0001209191-18-025824 · doc4.xml · nonDerivative · entry 2 LV Management Group, LLC · CIK 0001681884 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Hall Steven Edward · CIK 0001602732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 3,447,817 F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
April 23, 2018 Filed Apr 23, 2018 16:16 UTC	Surface Oncology, Inc. SURF · Entity 109857	ConversionCommon Stock	3,181,817	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-025824 · doc4.xml · nonDerivative · entry 1 LV Management Group, LLC · CIK 0001681884 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Hall Steven Edward · CIK 0001602732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 3,181,817 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries F Preferred Stock · Derivative	1,443,972	$0.00	$0.00	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · derivative · entry 6 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 0 Underlying: Common Stock · 145,312 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries E-3 Preferred Stock · Derivative	1,654,411	$0.00	$0.00	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · derivative · entry 5 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 0 Underlying: Common Stock · 166,489 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries E-2 Preferred Stock · Derivative	1,907,373	$0.00	$0.00	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · derivative · entry 4 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 0 Underlying: Common Stock · 191,946 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries D Preferred Stock · Derivative	3,390,885	$0.00	$0.00	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · derivative · entry 3 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 0 Underlying: Common Stock · 341,238 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	PurchaseCommon Stock	250,000	$15.00	$3,750,000.00	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · nonDerivative · entry 2 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 1,094,987 F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:16 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionCommon Stock	844,987	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-17-018092 · doc4.xml · nonDerivative · entry 1 LV Management Group, LLC · CIK 0001681884 · Former 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% owner Torres S. Edward · CIK 0001552293 · Former 10% owner Hall Steven Edward · CIK 0001602732 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Fund Disclosed balance after: 844,987 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.nature: These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document
April 12, 2016 Filed Apr 14, 2016 23:35 UTC Amendment	Spyre Therapeutics, Inc. AGLE · Entity 2649	ConversionCommon Stock	2,010,924	$0.00	$0.00	Disclosure SEC source: 0000059478-16-000342 · wf-form4a_146067689367014.xml · nonDerivative · entry 1 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Shanafelt Armen · CIK 0001656151 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by fund Disclosed balance after: 2,068,543 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: In connection with the consummation of the Issuer's initial public offering on April 12, 2016, each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). LV Management Group LLC (the "Management Company") has sole voting and dispositive authority with respect to the shares. Dr. Shanafelt disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. F3 · ownership.nature: This line item is being re-reported in order to gain access to the filing system. This Form is being amended to include Reporting Owners, Lilly Ventures Fund I LLC, and Dr. Shanafelt Armen as beneficial owners of the shares reported in the Form 4, previously filed by Eli Lilly and Company on April 14, 2016. Read SEC document
November 12, 2014 Filed Nov 12, 2014 16:50 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	ConversionSeries C Preferred Stock · Derivative	543,101	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-067900 · doc4.xml · derivative · entry 5 LILLY ELI & CO · CIK 0000059478 · Former 10% Owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Group Disclosed balance after: 0 Underlying: Common Stock · 543,101 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F1 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F4 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock have no expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
November 12, 2014 Filed Nov 12, 2014 16:50 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	ConversionSeries B Preferred Stock · Derivative	2,333,955	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-067900 · doc4.xml · derivative · entry 4 LILLY ELI & CO · CIK 0000059478 · Former 10% Owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Group Disclosed balance after: 0 Underlying: Common Stock · 2,333,955 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F1 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F4 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock have no expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
November 12, 2014 Filed Nov 12, 2014 16:50 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	PurchaseCommon Stock, $0.0001 par value	164,963	$13.50	$2,227,000.50	Disclosure SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 3 LILLY ELI & CO · CIK 0000059478 · Former 10% Owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,042,019 F3 · shares: Lilly Ventures Fund I LLC purchased an additional 164,963 shares of Issuer's Common Stock in connection with the IPO at the offering price of $13.50 per share. F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
November 12, 2014 Filed Nov 12, 2014 16:50 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	ConversionCommon Stock, $0.0001 par value	543,101	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 2 LILLY ELI & CO · CIK 0000059478 · Former 10% Owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,877,056 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
November 12, 2014 Filed Nov 12, 2014 16:50 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	ConversionCommon Stock, $0.0001 par value	2,333,955	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 1 LILLY ELI & CO · CIK 0000059478 · Former 10% Owner Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,333,955 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering. F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	Conversion7% Convertible Promissory Notes · Derivative	Not disclosed	$0.00 Strike: $5.43	$1,084,321.58	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · derivative · entry 9 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 199,875 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F4 · derivative.expiration_date: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F4 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	Conversion7% Convertible Promissory Notes · Derivative	Not disclosed	$0.00 Strike: $7.00	$1,345,466.43	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · derivative · entry 8 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 192,209 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F3 · derivative.expiration_date: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionSeries D Convertible Preferred Stock · Derivative	4,340,831	$0.00	$0.00	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · derivative · entry 7 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 299,213 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F1 · derivative.exercise_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F1 · derivative.expiration_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionSeries C Convertible Preferred Stock · Derivative	13,513,513	$0.00	$0.00	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · derivative · entry 6 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 931,485 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F1 · derivative.exercise_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F1 · derivative.expiration_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	PurchaseCommon Stock	733,445	$7.00	$5,134,115.00	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 5 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,356,227 F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionCommon Stock	199,875	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 4 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,622,782 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionCommon Stock	192,209	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 3 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,422,907 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionCommon Stock	299,213	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 2 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,230,698 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
April 15, 2014 Filed Apr 16, 2014 00:41 UTC	Dare Bioscience, Inc. CERU · Entity 7799	ConversionCommon Stock	931,485	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 1 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 931,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date. F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. Read SEC document
May 14, 2013 Filed Nov 21, 2013 22:23 UTC Amendment	Receptos, Inc. RCPT · Entity 12658	ConversionSeries B Preferred Stock · Derivative	Not disclosed	$0.00 Strike: $7.73	$5,040,221.00	Disclosure SEC source: 0000059478-13-000082 · wf-form4a_138507260568530.xml · derivative · entry 5 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Group Disclosed balance after: 0 Underlying: Common Stock · 672,029 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F2 · derivative.exercise_date: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F2 · derivative.expiration_date: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F1 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner. Read SEC document
May 14, 2013 Filed Nov 21, 2013 22:23 UTC Amendment	Receptos, Inc. RCPT · Entity 12658	ConversionSeries A Preferred Stock · Derivative	Not disclosed	$0.00 Strike: $5.25	$8,640,289.00	Disclosure SEC source: 0000059478-13-000082 · wf-form4a_138507260568530.xml · derivative · entry 4 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Group Disclosed balance after: 0 Underlying: Common Stock · 1,152,039 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F2 · derivative.exercise_date: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F2 · derivative.expiration_date: The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred stock and Series B preferred stock, for no additional consideration. F1 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner. Read SEC document
May 14, 2013 Filed Nov 21, 2013 22:23 UTC Amendment	Receptos, Inc. RCPT · Entity 12658	PurchaseCommon Stock	142,857	$14.00	$1,999,998.00	Disclosure SEC source: 0000059478-13-000082 · wf-form4a_138507260568530.xml · nonDerivative · entry 3 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Group Disclosed balance after: 2,081,210 F1 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner. Read SEC document
May 14, 2013 Filed Nov 21, 2013 22:23 UTC Amendment	Receptos, Inc. RCPT · Entity 12658	ConversionCommon Stock	672,029	$7.73	$5,194,784.17	Disclosure SEC source: 0000059478-13-000082 · wf-form4a_138507260568530.xml · nonDerivative · entry 2 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Group Disclosed balance after: 1,938,353 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner. Read SEC document
May 14, 2013 Filed Nov 21, 2013 22:23 UTC Amendment	Receptos, Inc. RCPT · Entity 12658	ConversionCommon Stock	1,152,039	$5.25	$6,048,204.75	Disclosure SEC source: 0000059478-13-000082 · wf-form4a_138507260568530.xml · nonDerivative · entry 1 LILLY ELI & CO · CIK 0000059478 · 10% owner Lilly Ventures Fund I LLC · CIK 0001575852 · 10% owner Torres S. Edward · CIK 0001552293 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · by Group Disclosed balance after: 1,266,324 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund. S. Edward Torres, is a non-managing member of the Fund and may be deemed to beneficially own the shares. Mr. Torres disclaims beneficial ownership of the shares held of record by the Fund, except to the extent of his pecuniary interest therein. The attached Exhibit 99.1 lists details for each 10% and beneficial owner. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.